Compliance and ET

Discussion in 'Professional Trading' started by indahook, Aug 8, 2003.

  1. Very true....I may be dumb but I ain't stupid. :cool:
     
    #11     Aug 8, 2003
  2. Ebo

    Ebo

    Peace!
    My only issue was Big Brother is sometimes watching!
    Have a nice weekend everybody.........you too TM!

    ebo
     
    #12     Aug 8, 2003
  3. Too late for peace....I pinned the voo doo doll alreadly:D
     
    #13     Aug 8, 2003
  4. Man all the compliance officers I know are strange but....:eek:

    Santaria anyone?
     
    #14     Aug 8, 2003
  5. CalTrader

    CalTrader Guest


    If you take the gig then they will make you sign an employment agreement / policy manual . This will state the rules of the firm.

    They may blanket restrict your activities or leave it up to you. IF they leave it up to you then as has been stated, as long as you are not talking about issues you are connected with then there is no problem.

    There is no "grandfathering" with respect to your comments prior to the license unless they and the licensing were part of a scheme to illegally profit.
     
    #15     Aug 8, 2003
  6. Ebo

    Ebo

    Let's beat this to death now.
     
    #16     Aug 8, 2003
  7. Oh why not.

    Also forget abt the porn on business computers even if everyone else does it. It may violate some sexual harassment situation at a future time.

    Your boss very likely may be monitoring what you do on the computer without telling you.

    Also forget abt poker, shopping, or web browsing. During slow times read something business related so your bosses think you are smart.
     
    #17     Aug 8, 2003
  8. Cal, I have the manual and will be reading it this weekend again.....good stuff.
     
    #18     Aug 8, 2003
  9. ...FWIW - my compliance office reads everything I post, (Hi Brian!), but I keep it simple and answer basic questions...I stay away from anything he's outlined for me. At least where I work though they do check my emails, postings etc...

    Good luck to you next week...

    rttrader -
     
    #19     Aug 8, 2003
  10. 14 guys in the whole BD...no woman at all. The sweet thing is I have worked in the same office space with my boss for a year and he knows me very well.....thats the main reason they offered me the pos in the first place. Three guys in the whole freaking office with all communication occurring over the tele and IM. No sexual harassment suits coming my way. :D

    I really do appreciate all of the feedback....i`ll let you guys know what happens

    indahook
     
    #20     Aug 8, 2003